Partnering with a regulatory hosting provider offers firms a faster, more efficient route to market – so you can focus on building your business while we manage the regulatory burden.
A regulatory hosting platform allows businesses (including start-ups) to operate under its regulatory license – instead of spending time obtaining and maintaining their own authorisation.
Investment Advisory
Our Investment Advisory platform allows you to provide investment advice and arrange deals in your own name, as well as to market your investment services and funds to professional clients. Robert Quinn Advisory LLP is authorised and regulated by the Financial Conduct Authority (no. 548030).
Our Regulatory Hosting clients operating as Appointed Representatives also benefit from RegteQ®’s Monthly Reporting Dashboard, giving you an easy and intuitive way to generate auditable monthly reporting.
Our Investment Advisory platform allows you to provide investment advice and arrange deals in your own name, and to market investment services and funds to professional clients.
While the FCA application process takes up to nine months, becoming an Appointed Representative on our Investment Advisory platform means you can be conducting business in as little as two months.
As an Appointed Representative on our platform, you gain access to pragmatic, end-to-end regulatory and compliance support. Our experienced team works closely with your executive leadership to deliver strategic solutions tailored to your specific requirements.
The FCA stresses the importance of compliance monitoring for Appointed Representatives. Be assured we will help you meet FCA requirements in every aspect of your business.
Our hosting platform focuses on internal governance to ensure we meet the FCA and institutional investor expectation.
Robert Quinn Advisory LLP has been authorised and regulated by the FCA since 2011. Our firm reference number (FRN) is 548030.
Capricorn Fund Managers’ Regulatory Hosting Platform places heavy emphasis on strong corporate governance, with monthly Investment Committee and Governance Committee meetings, as well as Quarterly Risk Committee and Board meetings, to meet the expectations of the FCA and institutional investors.
Backed by an extensive team of experts, Capricorn Fund Managers provides more than just a regulatory hosting solution, with strategic guidance and supervision to help firms build their businesses.
Capricorn Fund Managers’ Regulatory Hosting platform allows investment managers to be authorised and regulated by the FCA. The firm reference number (FRN) is 505252.
Obtaining and maintaining direct regulatory authorisation is costly and time-consuming, with FCA registration taking up to nine months. Regulatory hosting platforms allow small businesses and start-ups to operate under their regulatory license. This means you can start doing business much faster: in as little as two months.
We are experts in both compliance and regulatory hosting. RQC Group has been running regulatory platforms and advising on compliance since 2011. RQC Group’s global client base is full of success stories: clients growing their businesses safe in the knowledge that we’ve working with them to identify and continually manage their regulatory risk.
You need and deserve a strong team as you grow. A new client, a new market, a new fund… these can all trigger regulatory challenges and resulting headaches. Experienced and well-resourced, we will be proactive on your behalf and allow you to focus on managing and building your business.
In addition, our regulatory hosting solution utilises our proprietary RegteQ® system, allowing for fast and efficient interaction between you and us.
Governance arrangements
We support you to meet your governance obligations by demonstrating a clear organisational structure with transparent, well-defined lines of responsibility. This ensures accountability is consistent across your business, and easy to demonstrate to regulators and investors.
Ongoing monitoring
RQC Group’s regulatory hosting solutions give you direct access to our compliance experts, who conduct compliance monitoring in accordance with our structured compliance monitoring programme. We relieve you of much of the day-to-day monitoring burden so you can focus on growing your business.
With expert monitoring and reporting, we support you to identify and address potential risks before they become problems.
Training
Via a combination of in person training and e-Learning courses, we take care of your compliance training needs, ensuring that you and your staff are fully up to speed with compliance requirements applicable to your respective roles and responsibilities.
Conflicts of interest
Conflicts do happen. When unmanaged, they can lead to regulatory breaches. We work with you to identify, manage and monitor conflicts of interest so you can address them early and handle them with transparency.
Proactive management
Bolstered by our compliance expertise, you can build a governance framework that encourages confident decision-making, stands up to institutional scrutiny, and supports your successful, sustainable growth.
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